sintese acao urbanizacao. mdasc. 2010. english with cities alliance

7/27/2019 Sintese Acao Urbanizacao. MdasC. 2010. English With Cities Alliance

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AES INTEGRADAS DE URBANIZAODE ASSENTAMENTOS PRECRIOS

Integrated Slum Upgrading Actions

SNTESE DO CURSO DISTNCIADistance Learning Course: Abridged Version

Brasil, 2010

Brazil, 2010


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COORDENAO DA PUBLICAO / COORDINATION OF PUBLICATION

Ministrio das Cidades / Ministry of Cites

Jnia Santa Rosa, Diretora do DICT/SNH/ Institutional Development and Technical Cooperation Director/NHS

Rodrigo Delgado, DICT/SNH/ Institutional Development and Technical Cooperation Director/NHS

Jlia Lins Bittencourt, DICT/SNH/ Institutional Development and Technical Cooperation Director/NHS

Aliana de Cidades / Cities Alliance

Anaclaudia Rossbach, Representante Regional Brasil / Regional Advisor

Mariana Kara Jos, Analista de projetos / Research Analist

Consultoras do Ministrio das Cidades / Consulting Ministry of Cities

Prof Doutora Rosana DenaldiProf Doutora Ana Lucia Ancona

CRDITOS DA PUBLICAO / ACKNOWLEDGMENTS

Edio e reviso ortogrfca / Edition and revision

Publisher Brasil Editora

Carlos Rizzo

Sntese do Contedo / Abridgement

Sidney Carvalho

Rodrigo Fvero

Traduo / Translation

John Penney

Design grfco / Graphic Design

Sidney Carvalho

Diagramao / Impresso / Layout / Printing

Grfca e Editora Ideal Ltda.

Aes Integradas de Urbanizao de Assentamentos

Precrios Edio Bilngue, Braslia/So Paulo:

Ministrio das Cidades/Aliana de Cidades, 1a edio/2010.

1. Habitao Brasil. 2. Poltica Habitacional Brasil.

3. Poltica Urbana Brasil. I. Ttulo

CDU: 333.32 (81)


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APRESENTAO

3Secretaria Nacional de Habitao Ministrio das Cidades Repblica Federativa do Brasil

Aes Integradas de Urbanizao de Assentamentos Precrios - Sntese do Curso Distncia

Secretaria Nacional de Habitao

A falta de alternativas habitacionais no Brasil,

gerada pelo intenso processo de urbanizaoe baixa regulao e direcionamento estatal,baixa renda das famlias, apropriao especu-lativa de terra urbanizada e inadequao daspolticas de habitao, levou um contingentesignificativo da populao brasileira a viver emassentamentos precrios e informais.

O Governo Brasileiro acredita que s ser pos-svel equacionar essa questo se a poltica de in-tegrao urbana de assentamentos precrios forcolocada no centro da agenda federal, estaduale municipal, com nfase na garantia de acesso

universal aos servios de saneamento bsico, regularizao fundiria e moradia digna.

Nesse sentido, a Poltica Nacional de Habitao,aprovada em 2004 pelo Governo Federal, definecomo prioritrio a integrao de assentamentosprecrios, o que foi reforado com a aprovao daLei Federal 11.124/ 2005, que instituiu o Sistemae o Fundo Nacional de Habitao de Interesse So-cial - SNHIS/FNHIS e seu Conselho Gestor.

A grande oportunidade para implementar essa po-ltica veio com o Programa de Acelerao do Cres-

cimento PAC, plano de investimentos lanadopelo Governo Federal em 2007 que prev investi-mentos de R$ 106,3 bilhes na rea habitacionalentre 2007 e 2010, sendo desse total R$ 17 bilhesno onerosos destinados a aes integradas de ur-banizao, melhorias habitacionais e saneamentoambiental em assentamentos precrios.

O presente livro rene os principais textos ereflexes sobre o tema, originalmente editadoscomo apostilas do Curso Distncia: AesIntegradas de Urbanizao de AssentamentosPrecrios, promovido pela Secretaria Nacio-

nal de Habitao do Ministrio das Cidadesem parceria com a Aliana de Cidades. A ini-ciativa, que contou com o apoio da Univer-sidade de So Paulo e do Instituto do BancoMundial (WBI), teve como objetivo capacitaros tcnicos municipais para o desenvolvimentoe qualificao de projetos de investimentos emassentamentos precrios previstos no PAC.

Esperamos que os textos aqui reunidos contribu-am para o necessrio debate sobre os marcos con-ceituais e respectivos instrumentos disponveispara a formulao de uma poltica pblica que

integre os assentamentos precrios, garantindo oacesso moradia digna de forma universalizada.

National Housing Secretariat

The acute shortage of housing in Brazil as the resultof unprecedented urban growth, lack of governmen-tal direction and regulation, low family incomes, land

speculation and deficient housing policies has con-demned a substantial segment of Brazils populationto live in irregular, precarious settlements.

The Brazilian Government is convinced that the onlyway to solve this problem is to ensure that the policy forintegrating irregular settlements into the urban fabric

proper occupies the very centre of a Federal, State andMunicipal agenda focused on guaranteeing universal

access to basic sanitation, tenure regularisation anddecent living conditions.

The National Housing Policy approved by the FederalGovernment in 2004 prioritises the integration of irreg-ular settlements. This was reinforced with the approvalof Federal Law 11.124/2005 which led to the establish-ment of the National Social Housing Fund and System(SNHIS/FNHIS) and its Management Council.

The great opportunity for implementing the policyarose with the Growth Acceleration Programme(PAC), a major investment plan launched by the Fed-eral Government in 2007 which foreshadows allocat-ing R$106.3 billion to the housing area between 2007and 2010. Of this total, an unencumbered sum of

R$17 billion has been earmarked for integrated slumupgrading initiatives, housing improvements and en-vironmental sanitation in irregular settlements.

This book assembles the key texts and ideas on thissubject drawn from a set of modules first publishedas the Distance Learning Course on IntegratedSlum Upgrading Actions at the behest of the Na-

tional Housing Secretariat of the Ministry of Cit-ies, in partnership with the Cities Alliance. The aimof this initiative, which received the support of theUniversity of So Paulo and the World Bank Insti-tute (WBI), is to train municipal technical staff todevelop and qualify investment projects for irregular

settlements as set forth in the PAC.

We sincerely hope that these texts will contribute to thelong-overdue debate on the various conceptual frame-works and draw readers attention to the respectiveinstruments available for formulating a public policy

dedicated to integrating irregular settlements andguaranteeing universal access to decent housing.

ApresentaoForeword

Ins MagalhesSecretria Nacional de Habitao

Ins Magalhes

Natiomal Housing Secretary


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PRESENTATION

4

Integrated Slum Upgrading Actions - Distance Learning Course: Abridged Version

National Housing Secretariat Ministry of Cities Federative Republic of Brazil

Aliana das Cidades

O Brasil tem desempenhado um papel cadavez mais importante no contexto internacionalna luta contra a pobreza urbana. o primeiropas em desenvolvimento a aderir, em 2003, Aliana de Cidades como membro pleno. AAliana tem acompanhado com grande inte-resse os investimentos, sem precedentes, emurbanizao de favelas; investimentos essesdisponibilizados no mbito do Programa deAcelerao do Crescimento (PAC).

Muitas vezes, a busca por uma soluo rpi-da e padronizada ofusca a necessidade de setomar decises estruturantes e qualificadascomo, por exemplo, a oferta de terra urbani-

zada com a garantia da proviso de serviospblicos ou a focalizao das prioridades queincluem previso oramentria corresponden-te ao longo do tempo.

Estratgias bem-sucedidas de urbanizao defavela, feitas de forma sustentada e em umaescala que abranja toda a cidade, exigem mui-tos esforos. Porm no h mgica. Uma vi-so clara, polticas pblicas comprometidasde longo prazo e a participao efetiva dascomunidades envolvidas so alguns dos prin-cipais elementos.

A Aliana tem como objetivo reforar a lutados pases em desenvolvimento para enfrentaros desafios impostos pelo crescimento das fa-velas e garantir a sustentabilidade das cidadesno longo prazo.

Nesse sentido, apreciamos a oportunidade decolaborar com o Ministrio das Cidades naelaborao e implementao do Curso a Dis-

tncia de Urbanizao de Assentamentos Pre-crios, bem como apoiar a disseminao dosresultados obtidos para fortalecer iniciativascomo a cooperao entre o Brasil, a ndia e africa do Sul (IBAS).

Esperamos que este material contribua paraampliar o conhecimento acumulado nestarea e estimule aes de maior escala paramelhorar as condies de vida da populaoresidente em assentamentos precrios.

William CobbettDiretor-Geral

Aliana de Cidades

Cities Alliance

Brazil has played an increasingly important role inter-

nationally in the struggle against urban poverty. Bra-

zil was the first developing country to join the Cities

Alliance, in 2003, as a full member. The Alliance hasfollowed with keen interest the unprecedented invest-

ments directed to slum upgrading under the aegis of

the Growth Acceleration Programme (PAC).

The search for a quick, standard solution frequently

obscures the need to take qualified and structuring

decisions regarding issues such as the need to supply

urbanized land with a guaranteed provision of public

services or the requirement to target priorities such as,

inter alia, long-term budgetary forecasts.

Successful slum upgrading strategies, undertaken in a

sustainable manner and on a city-wide scale, call for a

great deal of effort. We acknowledge that there is no

magic solution. What is needed, among other things,

is a clear foresight, public policies committed to the

longer-term view and the effective participation of the

communities involved.

The basic mission of the Alliance is to help strengthen

developing countries in their struggle to confront the

challenges arising from the growth of slums and to en-

sure the long-term sustainability of cities.

In this respect, we welcome the opportunity to col-

laborate with the Ministry of Cities in preparing

and implementing the Distance Learning Course on

Integrated Slum Upgrading Actions, as well as to as-

sist with wider dissemination of the content of the

course with a view to strengthening initiatives such

as cooperation between Brazil, India and South Af-rica (IBSA), and general south-south cooperations.

We hope that this material will contribute to broaden-

ing the knowledge that has been accumulated in this

area. We also hope that it will help to encourage larger

scale actions focused on improving the living condi-

tions of the urban poor.

William Cobbett

Manager

Cities Alliance


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SUM

RIO



Introduo .................................................5

Captulo 1

Plano de ao integrada emassentamentos precrios ..................................9

Captulo 2

Regularizao fundiria ............................31

Captulo 3

Definio das diretrizesde interveno ..........................................47

Captulo 4

Trabalho social e participao ..................69

Captulo 5

Normas especficas e metodologiapara projetos e obras de urbanizaoe recuperao ambiental deassentamentos precrios .......................... 118

Captulo 6

Planejamento, gerenciamentoe controle de obras .................................. 141

Captulo 7

Monitoramento e avaliao deprogramas de ao integrada emassentamentos precrios ......................... 170

Glossrio ...............................................197

Bibliografia............................................201

Introducion ................................................. 5

Chapter 1

Integrated Action Plan forInformal Settlements ...................................9

Chapter 2

Tenure regularisation ................................. 31

Chapter 3

Definition ofintervention guidelines .............................. 47

Chapter 4

Social workand participation ....................................... 69

Chapter 5

Specific norms and methodologyfor projects and works concernedwith urbanisation and environmentalrecovery of informal settlements .............. 118

Chapter 6Planning, managementand control of works ............................... 141

Chapter 7

Monitoring and evaluationof integrated action programmesin informal settlements ............................ 170

Glossary................................................. 197

Bibliography .......................................... 201

SUMM

ARY

SumrioSumary


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INTRODU

O



No Brasil, at meados do sculo passado, que

foi marcado por um intenso processo de urba-nizao, as aes do poder pblico relaciona-das com os assentamentos precrios variaramdas tentativas de erradicao s melhorias pon-tuais e paliativas. Na prtica, a atitude que pre-dominou foi a complacncia: os assentamen-tos precrios foram tolerados, especialmentequando localizados nas periferias, e acabaramconstituindo a principal soluo para a questoda moradia popular.

No final da dcada de 70, num contexto deampliao das mobilizaes sociais e de reor-ganizao das lutas por moradia, a poltica ha-bitacional foi reorinetada no sentido de maioradequao s demandas populares. Em todo oBrasil comearam a surgir iniciativas de gover-nos estaduais e municipais dirigidas a progra-mas de urbanizao de assentamentos prec-rios, com o apoio do governo federal e recursosprprios. Na dcada de 90, com a crise fiscal damaioria dos estados e com as mudanas institu-

cionais introduzidas pela Constituio de 1988,os municpios passaram a assumir mais respon-sabilidades pelos programas habitacionais. Osprogramas de urbanizao de favelas se difundi-ram nas principais cidades e regies metropoli-tanas do pas, inclusive por meio de programasmais abrangentes que contaram com financia-mentos e apoio de organizaes multilateraiscomo o Banco Mundial e o Banco Interameri-cano de Desenvolvimento (BID).

Dentre os principais desafios encontrados naimplementao desses programas, se desta-cavam: a mobilizao de recursos em escalacompatvel com a demanda; a continuidadedos programas, cujos cronogramas geralmen-te extrapolavam os mandatos dos gestoresiniciais; a influncia de grupos de presso einteresses polticos na alocao dos recursos;a articulao entre diversos rgos e mbitosgovernamentais em intervenes complexas;

a dificuldade de relacionamento com as con-cessionrias dos servios luz, gua e esgotos,que se pautam por padres rgidos de projetose intervenes; a necessidade de formao de

In Brazil, by the middle of last century, the response

of the public authorities a rapid process of urbanisa-tion up to around 1950to the widespread appearance

of informal substandard or precarious settlements,

commonly known as favelas (slums), varied from at-

tempts at slum clearance to seeking to improve the

settlements with palliative and piecemeal methods. In

practice, complacency was the order of the day: the

favelas were tolerated, especially when located on the

outer fringes of the cities, and became the main solu-

tions to the countrys social housing problems.

Towards the end of the 1970s, in response to bur-

geoning social movements and the emergence of a

widespread popular struggle for better housing, Bra-

zils housing policy began to be reoriented in an ef-

fort to better respond to growing demand. State and

municipal governments throughout Brazil initiated

slum upgrading programmes with financial support

provided by the Federal Government and also by fre-

quently using their own resources. In the 1990s, withthe onset of the fiscal crisis affecting the majority of

the states and as a result of the institutional changes

introduced by the 1988 Constitution, the municipali-

ties were obliged to assume greater responsibility for

housing programmes in their areas. Slum upgrading

programmes began to take root in Brazils metropoli-

tan regions and large cities following the introduction

of more wide-ranging programmes and projects enjoy-

ing financial and other support provided by multilat-

eral organisations such as the World Bank and the

Inter-American Development Bank (IADB).

Implementing these programmes involved many chal-

lenges: the need to mobilise resources on a scale com-

patible with the overwhelming demand; the problems

involved in ensuring the continuity of programmes

whose implementation schedules generally extended

beyond the mandates of the authorities originally re-

sponsible for initiating them; the influence of pressure

groups and political interests on resource allocations;

the problematic liaison between different governmen-

tal bodies and institutions faced by complex on-the-

Introduo

Introduction


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INTRODUCTION

8 National Housing Secretariat Ministry of Cities Federative Republic of Brazil


profissionais, especialmente nas reas de urba-nismo e projeto, capacitados para atuar nos es-paos heterodoxos das favelas; a manutenodas melhorias implantadas; a permanncia dosmoradores originais nos ncleos beneficiados;

e a efetivao da regularizao fundiria dasreas urbanizadas.

Ao assumir a Presidncia em 2003, o Gover-no Lula decidiu enfrentar de forma integradaesse conjunto de desafios, associados ao reco-nhecimento de que as favelas e assentamentosassemelhados faziam parte da soluo da ques-to habitacional do pas. Para tanto, foi funda-mental a construo de um novo quadro ins-titucional para o setor habitacional e urbano,com a criao do Ministrio das Cidades e doConselho das Cidades, bem como aprovaoda Poltica Nacional de Habitao, do Siste-ma Nacional de Habitao de Interesse Sociale do Fundo Nacional de Habitao de Interes-se Social.

Com a criao dessa base institucional esta-vam definidas as condies para a aborda-gem da integrao urbana de assentamentosprecrios como poltica de Estado. A partirde 2003 as verbas destinadas a programasde urbanizao integrada de assentamentosprecrios foram ampliadas de forma sig-nificativa, correspondendo aos valores de:R$ 386,512 milhes em 2003; R$ 704,159milhes em 2004; R$ 682,409 milhes em2005; R$ 1.004,014 milhes em 2006; e R$1.643,039 milhes em 2007.

A partir de 2007, com o PAC-Urbanizao deFavelas, essas destinaes ganharam a escalanecessria para gerar efeitos estruturais, na

perspectiva de enfrentar, e reverter, os proble-mas sociais, urbanos e ambientais relacionadoscom o quadro dos assentamentos precrios noBrasil, estimado em 3,2 milhes de domiclios,entre favelas, cortios e loteamentos irregularesem situao de precariedade.

Algumas diretrizes orientam as aes apoia-das pelo governo federal para o enfrentamentodesse quadro, dentre elas o atendimento aosseguintes dimenses bsicas da integrao ur-

bana de assentamentos precrios:

1. Intervenes fsicas, incluindo obras deurbanizao, recuperao ambiental e, quando

ground interventions; the difficulties encountered

with the public utility providers of light, water and

sewage facilities locked into rigid project design and

intervention straitjackets; the need to train profession-

als, especially in urbanism and project design, and to

better equip them to deal with the unorthodox spaces

occupied by slums; maintenance of the improvements

already made; the need to retain the original occupiers

in the settlements which benefited from the improve-

ment programmes; and, finally, the pressing need for

land and property tenure regularisation in the newly

upgraded areas.

Brazils new government under President Lula, from

2003 onwards, took upon itself the task of confronting

these set of challenges, acknowledging the fact that the

favelas and similar informal and precarious settlements

constitute a part of the solution for the countrys hous-

ing problems. From the outset, the new government rea-

lised that it was vital to construct a new institutional

framework for the urban and housing sector. This ap-

proach led to the establishment of the Ministry of Cit-

ies and the Cities Council, as well as to approval of the

National Housing Policy, the National Social Housing

System and the National Social Housing Fund.

With this new institutional base the scene was set for

embracing the question of urban integration of infor-

mal settlements and slums as official state policy and

for providing the means to give concrete expression to

this. From 2003 onwards the funds earmarked for pro-

grammes involving slum upgrading were substantially

increased year-on-year: R$336,512 million in 2003;

R$704,159 million in 2004; R$682,409 million in

2005; R$1,040,014 million in 2006 and R$1,643,039million in 2007.

As from 2007, with the introduction of the PAC-Slum

Upgrading Programme, more funds were made avail-

able for generating structural changes targeted at con-

fronting and providing a solution for the social, urban

and environmental problems raised by the existence

of slums in Brazil. Estimates were that 3.2 million

households were living in favelas, tenements (cortios)

and other precarious and irregular settlements.

The Federal Government employs three basic guide-

lines in its approach to the urban integration of irreg-


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INTRODU

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necessrio, construo de novas unidades ha-bitacionais e/ou equipamentos sociais.

2. Regularizao fundiria.

3. Trabalho social, dirigido garantia de

participao e apoio incluso social dos mo-radores.

As apostilas aqui reunidas procuram dar umaviso operacional das aes de integrao ur-bana de assemtamentos precrios, com basenessas diretrizes. Foram selecionadas, dentreo contedo das 12 apostilas que compunhamo 1 Curso Distncia de Aes Integradasde Urbanizao de Assentamento Precrios,aqueles textos que se ocupam principalmen-

te dos passos metodolgicos consolidados aolongo das quase 4 dcadas de experincias mu-nicipais, estaduais e federais na urbanizao defavelas, agora incorporados pelo PAC.

A primeira apostila trata do Plano de Ao In-tegrada em Assentamentos Precrios, e abordaos elementos necessrios para o planejamentodas intervenes em assentamentos precrioscomo parte integrante da politica habitacionaldo municpio. Para tanto, descreve os passos

para o diagnstico global dos assentamentos,sua classificao e priorizao para interveo,e as aes necessrias para levar cabo a urba-nizao integrada.

A segunda apostila informa os instrumentose procedimentos de regularizao fundiria aserem adotados como parte das aes de urba-nizao de assentamentos precrios.

A terceira apostila aponta os procedimentospara o diagnstico preliminar com vistas a

elaborao dos projetos de interveno, bemcomo diretrizes para se optar por diferentes al-ternativas de projeto.

A apostila sobre o trabalho social e a partici-pao apresenta elementos conceituais e meto-dologicos para o desenho das aes que visamo envolvimento da comunidade nas decisessobre o assentamento.

A apostila cinco apresenta normas especficase solues de desenho que podem ser adotadaspara a elaborao de projetos executveis, ga-rantindo melhorias habitacionais, integraourbanstica e recurperao ambiental.

ular settlements: (i) to undertake physical interventions,

including public works involving urbanisation, environ-

mental recovery and, wherever necessary, the construc-

tion of new housing units and/or the provision of social

equipments and amenities; (ii) to boost tenure regularisa-

tion; and (iii) to focus on social work in order to ensure

slum dwellers participation in the programmes by slum

dwellers and to foster their social inclusion.

The aim of this booklet is to provide an operational

overview of the actions involved in integrating slums

into Brazils urban fabric, based upon the above guide-

lines. A number of texts were selected and summarised

from the 12 chapters which comprise the First Distance

Learning Course on Integrated Slum Upgrading Ac-tions. Only those texts were chosen which deal predomi-

nantly with the methodological steps that have proved

invaluable over almost 40 years of federal, state and

municipal experience with slum upgrading, and which

have now been incorporated into the PAC.

The first chapter describes the Integrated Action Plan

for Informal Settlements. It addresses the elements

needed for planning interventions in irregular settle-

ments to form an integral part of the municipalityshousing policy. It describes the steps that need to be

taken to arrive at a global assessment of the settle-

ments, to classify and prioritise the areas requiring

interventions and to outline the actions needed to un-

dertake an integrated slum upgrading programme.

The second chapter contains the instruments and pro-

cedures governing tenure regularisation as part and

parcel of the upgrading activities.

The third chapter explains the procedures required for

making a preliminary assessment prior to designing

intervention projects. It also recommends guidelines

for different project design alternatives.

The fourth chapter concentrates on social work and

popular participation, presenting a number of concepts

and methodologies that can be used for designing ac-

tions aimed at involving slum communities in decision-

making regarding the future of their own settlements.

The fifth chapter outlines specific norms and design

solutions that could be adopted for elaborating execut-


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INTRODUCTION



Para encerrar, a apostila sobre monitoramen-to e avaliao de programas busca inserir essadimenso como uma componente essencialna gesto das aes integradas em assenta-mentos precrios.

able projects, guaranteeing housing improvements, ur-

ban integration and environmental recovery.

The sixth and final chapter on programme monitoring

and evaluation seeks to ensure that M&E is included

as an essential component in the management of allintegrated slum upgrading actions.


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CAP

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1. Plano Local de Habitao deInteresse Social

Recomenda-se que o municpio estruture suapoltica habitacional em duas grandes linhasde ao: proviso de novas moradias e integra-o de assentamentos precrios. Essas aesdevem estar vinculadas poltica municipal dehabitao, que, por sua vez, deve estar articu-lada tanto poltica urbana municipal como Poltica Nacional de Habitao (e PolticaNacional de Integrao de Assentamentos Pre-crios). Ou seja, a ao em favelas exige umaabordagem articulada verticalmente ao siste-

ma nacional de habitao e, horizontalmente, poltica de desenvolvimento urbano.

1 reas que tm uma ou mais das seguintes caractersti-cas: irregularidade fundiria ou urbanstica; deficinciade infra-estrutura; perigo a alagamentos, deslizamentosou outros tipos de risco; altos nveis de densidade dosassentamentos e das edificaes; precariedade construti-va das unidades habitacionais; enormes distncias entremoradia e o trabalho; sistemas de transportes insuficien-tes, caros e com alto nvel de desconforto e insegurana;inexistncia ou deficincia dos servios pblicos (sanea-mento, educao e sade); conjunto de problemas sociaisque configuram situaes de extrema vulnerabilidade;domnio por uma ordem baseada na violncia.

2Rosana Denaldi arquiteta e urbanista pela Universi-dade Catlica de Santos (1986), doutora em Arquiteturae Urbanismo pela Universidade de So Paulo (2003), es-pecialista em Poltica Habitacional pelo IHS - Institutefor Housing and Urban Development Studies (Holanda,1992). professora nos cursos de graduao e ps-gradu-ao da Faculdade de Arquitetura e Urbanismo da Uni-versidade Catlica de Santos. Trabalhou como tcnica e

dirigente das prefeituras de Diadema e Santo Andr, foipresidente do Conselho Municipal de Poltica Urbana deSanto Andr e Secretria de Desenvolvimento Urbano eHabitao da Prefeitura de Santo Andr (2003 - 2007). consultora na rea de poltica urbana e habitacional.

1 Areas possessing one or more of the following features: ten-

ure/titling or urban irregularities; deficient or dilapidated in-

frastructure; danger of flooding, landslides or other types of

hazard; high density of buildings; precarious building quality

of housing units; long distances between housing and work-

places; insufficient transport systems (expensive, insecure and

uncomfortable); non-existent or less than satisfactory public ser-

vices (sanitation, education and health); a set of social problems

engendering situations of extreme vulnerability; a social order

based on violent crime.

2 Rosana Denaldi graduated as an architect and urban-ist at the Universidade Catlica de Santos (1986), subse-quently gaining a doctorate in architecture and urbanismawarded by the University of So Paulo (2003). Dr De-naldi is an expert on housing policy (IHS - Institute for

Housing and Urban Development Studies, Netherlands(1992). Teaches graduate and postgraduate courses at the

Faculdade de Arquitetura e Urbanismo of the Universi-dade Catlica de Santos. Worked as a staff member andmanager in the Municipalitys of Diadema and Santo

Andr, is a former President of the Conselho Municipalde Poltica Urbana de Santo Andr and Secretary of Ur-ban Development and Housing of the Municipality of Santo Andr (2003 2007. At present is a consultant inthe urban and housing area.

1. Local Social Housing Plan

Municipalities are recommended to base their hous-ing policies on two key action lines: the delivery of

new housing units and the incorporation of informal

settlements into the fabric of the city proper. These ac-

tions should be linked to the municipal housing policy,

which in turn needs to be in tune with the municipal

urban policy as well as with the National Housing

Policy (and the National Slum Integration Policy). In

other words, dealing with slums requires an approach

linked vertically to the national housing system andhorizontally to local urban development policy.

Captulo 1Plano de ao integrada em assentamentos precrios1

Chapter 1

Integrated Action Plan or Inormal Settlements1

Rosana Denaldi2


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CH

APTER1



O Plano Local de Habitao de Interesse So-cial (PLHIS) um importante instrumento dearticulao entre a ao em favelas e as polti-cas habitacionais municipal, estadual e nacio-nal para o setor, alm de articular, entre si, as

vrias componentes da poltica de habitaolocal).

O PLHIS deve conter, no mnimo, um diag-nstico do setor habitacional e um plano deao. O diagnstico deve reunir informaesa respeito do dficit habitacional (quantitati-vo e qualitativo), identificar os assentamentosprecrios e levantar suas caractersticas urba-nsticas, ambientais, sociais e fundirias. Deve,tambm, estimar a evoluo das necessidades

habitacionais e dimensionar os recursos neces-srios para enfrentar o problema. O plano deao, por sua vez, consiste na definio de es-tratgias para resolver os principais problemas,especialmente no que se refere habitao deinteresse social. Dele devem constar:

diretrizes e objetivos da poltica local de

habitao;

linhas programticas e aes;

metas a serem alcanadas e estimativa

dos recursos necessrios para atingi-las,por programas ou ao, identificando-seas fontes existentes;

indicadores que permitam medir a efic-cia do planejamento.

No mbito deste plano que conheceremos oproblema dos assentamentos precrios comoum todo e definiremos uma estratgia geral

de ao, que nortear a tomada de deciso emrelao a um determinado projeto ou assenta-mento especifico.

Em relao aos assentamentos precrios, im-portante, conhecer, por exemplo:

localizao e delimitao dos assenta-mentos precrios;

carncias de infra-estrutura, equipamen-tos e servios urbanos;

grau de adensamento dos assentamentos;

situaes de risco;

The Local Social Housing Plan (LSHP) is a key in-

strument for ensuring that actions taken with regard

to slums are in line with national, state and munici-

pal housing policies. The LSHP also ensures cohesion

among the various components of local housing policy.

The LSHP should contain a assessment of the hous-

ing sector in a particular municipality as well as a

housing action plan. The assessment should contain

information on the housing deficit in the area from

both a quantitative and qualitative point of view. It

should also be able to identify the location of infor-

mal settlements and describe the urban, environmen-

tal, social and tenure characteristics of such places.

The plan should also provide an estimate of hous-ing shortages and seek to gauge the scale of resources

needed to deal with the problem. The LSHP action

plan should also set out the strategies required to re-

solve the key problems, particularly those concerned

with social housing. The strategic plan should con-

sist of the following:

localhousingpolicyguidelinesandobjectives;

programmaticlinesandactions;

targetstobeachievedandanestimateof the

resources needed to achieve them;

identificationof existingfinancialresources;

and

indicatorsformeasuringeffectivenessof

planned actions.

This plan will give us an overall idea of the prob-

lem of informal settlements and slums and help us

to define a general action strategy to guide decision-

making with regard to a specific project or slum set-

tlement. In the case of informal settlements it is vital

to be familiar, for example, with the following:

locationandboundaries;

shortages of infrastructure, equipments and

usual urban services;

densityof builtareaandpopulation;

risksituations;


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caractersticas socioeconmicas da popu-lao;

condicionantes institucionais e norma-tivas do setor habitacional e de planeja-mento urbano;

conhecimento da situao de regularizao

de domnio de reas pblicas e privadas.

E com estas informaes, estimar ou prever,por exemplo:

o nmero de realocaes (remoes) para

desadensamento, eliminao de risco ouatendimento a outras imposies (deter-minaes judiciais, obras de infra-estru-tura e de recuperao ambiental);

o local (terra urbanizada) em que sero

reassentadas as famlias que precisam serremovidas. em funo do nmero de re-alocaes, estimar a quantidade de terrasnecessrias e definir (mapear) sua locali-zao na cidade;

o volume de recursos necessrios para

aquisio ou desapropriao de terras,caso o municpio no possua estoque su-

ficiente de terras pblicas para atenderessa demanda (remoo);

o volume de recursos necessrios para execu-tar obras de urbanizao dos assentamentose para eliminao de situaes de risco;

a situao de regularizao de domnio

de reas pblicas e privadas;

o volume de recursos necessrios para

promover a regularizao e integrao

dos assentamentos; a necessidade de construo ou amplia-

o de equipamentos pblicos ou doatendimento de servios;

a integrao com outras aes ou progra-mas voltados capacitao, educao dejovens e adultos, gerao de renda, com-bate a violncia etc.

Para chegar a esses dados, o Governo Municipal

precisar tomar algumas decises. Exemplos:

Critrio adotado para consolidar ou re-mover um assentamento;

socio-economicstatusof thepopulation;

institutionalandnormativeaspectsof thelo-

cal housing and urban planning sectors; and

thesituationregardingregularisationof pub-

licly and privately owned land.

The above information should make it possible to es-

timate or forecast the following:

thenumber of relocations(removals)of homes

and people required to lower the density of a par-

ticular settlement, eliminate risks, undertake in-

frastructure works and environmental upgrading,

as well as to comply with any legal rulings and

provisions affecting a settlement or part of it;

the exact location and size of the urbanised

area where families will be relocated (map to be

provided of the area allocated within the city);

thevolumeof resourcesneededforpurchasing

or expropriating the designated areas of land in

the event of the municipal authorities not pos-

sessing sufficient land for re-settling families;

thecostsof slumupgradingworksandelimi-

nation of risk situations;

thesituationregardingregularisationof pub-

licly and privately owned land;

thevolumeof resourcesneeded forregularis-

ing and integrating settlements;

theneedforconstructingorexpandingpublic

amenities and utility services; and

joint initiatives with other actions or pro-

grammes focused on training and education

for adults and young people, income genera-

tion, crime prevention, etc.

In order to obtain the above data, the Municipal Govern-

ment will need to decide on, inter alia, the following:

thecriteriagoverningtheconsolidationorre-

moval of a particular settlement;

theurbanplanning standards tobe adopted

when urbanising the settlement. these must


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Padro urbanstico adotado para urbani-zar um assentamento; grau de desaden-samento; adoo de dimensionamentomnimo de vias e lotes (lote mnimo oufrao mnima de terra por famlia);

Padro urbanstico e tipologias habita-cionais adotados para produo de no-vos conjuntos residenciais. A estimativade quantidade de terras, e recursos ne-cessrios, tanto para aquisio de terrascomo para construo de unidades habi-tacionais, passam por estas definies.

Essas definies devem considerar as especi-ficidades locais. evidente que cada assen-tamento apresenta caractersticas prprias e,

portanto, ser objeto de um estudo especfico,pois pode no corresponder totalmente ao cri-trio geral. O diagnstico de um determinadoassentamento ou complexo apontar soluesespecficas de projeto e orientar uma segundatomada deciso. No entanto, preciso adotarcritrios norteadores, que permitam estabele-cer uma estratgia geral para a cidade.

O PLHIS3 deve ser articulado com o PlanoDiretor4 e sua legislao complementar. No

mbito do Plano Diretor ou da Lei que regula-menta as Zonas Especiais de Interesse Social(ZEIS) que se definem os procedimentos epadres urbansticos especiais para promovera regularizao dos assentamentos. As ZonasEspeciais de Interesse Social (ZEIS), tm porobjetivo criar um instrumento que permita re-conhecer e acolher, no arcabouo legal, os pa-dres urbansticos especficos adotados pelapopulao nas ocupaes de interesse social. possvel, ainda, estabelecer padres espe-

ciais para produo de Habitao de InteresseSocial (HIS) e Habitao de Mercado Popular(HMP) e delimitar reas vazias como ZEIS,destinando-as para produo de habitao so-cial e para atender as famlias que devem serrealocadas (removidas).

3 Plano Local de Habitao de Interesse Social, instru-mento de articulao entre a ao em assentamentosprecrios e as polticas habitacionais municipal, estaduale nacional, articulando tambm, as vrias componentesda poltica de habitao local.

4 Instrumento bsico de um processo de planejamentomunicipal para a implantao da poltica de desenvolvi-mento urbano, norteando a ao dos agentes pblicos eprivados em mbito local.

3 Local Social Housing Plan which provides a link between ac-

tion in slums and municipal, state and national housing poli-

cies and also articulates the various components of local hous-

ing policy.

4 Basic instrument in a municipal planning process for imple-

menting an Urban Development Policy, providing guidance for

the actions and initiatives of public and private practitioners at

local level.

take account of the desired level of de-densi-

fication, the minimum size of plots to be ear-

marked for family occupation and the mini-

mum number and dimensions of streets, etc;

inadditiontotheabove,thetypeof dwellingunits to be designed for the new housing com-

plexes needs to be defined, and estimates sub-

mitted of the amount and cost of the building

land required for resettlement.

Local specificities need to be taken into account

when addressing the above. Each settlement, pos-

sessing its own features and unlikely to conform to-

tally to general criteria, will need to be dealt with on

a case-by-case basis. While the assessment made of

a particular settlement or housing complex should

stress the need for specific solutions to be adopted

by the future project, certain key guideline criteria

will also be required prior to formulating an overall

strategy for the city as a whole.

The LSHP3 needs to conform to the local Master

Plan4 and its attendant legislation. The procedures

and special urban standards for ensuring regulari-

sation of the settlements are defined in the Mas-

ter Plan or in the law governing the Special Social

Interest Zones (ZEIS). The main purpose of the

ZEIS is to serve as a legally constituted instrument

for employing and complying with specific urban

standards adopted for social housing. It is also

possible to establish special standards for produc-

ing Social Housing (SH) and Low Income Market

Housing (LIMH), as well as to delimit vacant ar-

eas as ZEIS to be used for social housing to receiverelocated families.

In the majority of municipalities a significant num-

ber of these settlements are located in environmen-

tally sensitive areas. We recommend that munici-


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Plano diretorMASTER PLAN

Pmrr (1)MDRRP (1)

PlhisLOCAL SOCIAL HOUSING PLAN

Na maioria dos municpios, uma parcela sig-nificativa desses assentamentos localiza-se emreas ambientalmente sensveis . Menciona-mos aqui por ser recomendvel que os muni-cpios elaborem um plano de recuperao des-

sas reas, que deve indicar quando e onde suaocupao pode ser consolidada. Se possvel, importante que esse plano seja parte integrantedo PLHIS e, se no for, fundamental a articu-lao entre ambos.

Outra parcela dos assentamentos localiza-seem reas de risco, imprprias a ocupao epara tratar deste problema recomenda-se a ela-borao de um Plano Municipal de Reduode Risco, que tambm deve ser articulado ao

Plano de Ao Integrada em AssentamentosPrecrios.

O PLHIS no deve limitar-se ao diagnstico:deve apresentar um Plano de Ao pactuadocom a sociedade para orientar a ao governa-mental. O contedo mnimo deste plano cons-ta do referido manual, mas importante res-saltar que, em funo de especificidades locaise regionais, do diagnstico realizado, de condi-cionantes institucionaisl, um ou outro aspecto

(1) Municipal Plan or Disaster Risk

(2) Examples: PLAGESAN (Integrated Sanitation), Plan oHistoric Preservation, Watershed(3) Recovery plan APPs - Implementation o ResolutionCONAMA n 369

(1) Plano Municipal de Reduo de Risco

(2) Exemplos: PLAGESAN (Saneamento Integrado), Plano dePreservao do Patrimnio Histrico, Bacias Hidrogrfcas(3) Plano de recuperao das APPs - Aplicao da ResoluoCONAMA n. 369

P rgF s aPP (3)

ENVIRONMENTAL AND LANDTENURE REGULARIZATION PLAN (3)

pal authorities should draw up an Environmental

Recovery Plan for these areas, indicating where and

when they can be consolidated (or not) as areas of hu-

man occupation. Wherever possible it is important that

this plan should form an integral part of the LSHP and,

in cases where this is not possible, it is vital to ensure that

the environmental plan and the LSHP are in step.

In cases where settlements are located in risk areas

unsuitable for human occupation we recommend

preparing a Municipal Risk Reduction Plan which

should dovetail with the Integrated Action Plan for

Informal Settlements.

The LSHP should not be confined to a assessment

but should also present an Action Plan, agreed withmembers of the community, to serve as guidance to

the local government in housing matters. This plan

should as a minimum comprise the contents of the

Manual referred to. It is important to emphasise that

in view of the local and regional specificities revealed

by the assessment, one or more institutional factors

could well be highlighted as being of greater impor-

tance or requiring further study.

outros Planos(2)OTHER PLANS(2)

ig aSLUM UPGRADING P NEW HOUSING UNITS

P a ig a PSLUM UPGRADING INTEGRATED

ACTION PLAN


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pode e deve ganhar maior importncia ouser mais bem aprofundado.

fundamental que as propostas deste plano te-nham sido discutidas e pactuadas com a socieda-de e, em especial, com os movimentos de moradiae ambiental. Para tanto, uma das tarefas iniciaisser identificar os movimentos e segmentos e de-finir as estratgias e canais de participao.

2. Diagnstico

Conhecer a realidade fundamental. A cons-truo do Plano de Ao depende da elabora-o de um bom diagnstico. O primeiro passo

identificar os assentamentos precrios.2.1 Identicao dos assentamentosprecrios

As realidades so distintas, mas conta-se atual-mente com vrias alternativas para identificare mapear os assentamentos. O municpio deverastrear as possibilidades e escolher ou combi-nar alternativas.

a) Levantamento de Campo - Levantamento

Topogrfco CadastralTrata-se da realizao de levantamento topo-grfico cadastral produzido em campo porequipe de topgrafos e assistentes. Com as in-formaes levantadas em campo possvel de-limitar, com preciso, o assentamento e inseri-lo na Planta de Cadastro da cidade.

possvel deixar para a etapa de formulaodos projetos de urbanizao o levantamento

planialtimtrico cadastral dos assentamentos.b) Aerootogrametria

possvel contratar ou comprar foto area do mu-nicpio ou de sua poro urbanizada e, a partir darestituio aerofotogramtrica, delimitar e dese-nhar a ocupao existente. Esse desenho deve serincorporado Planta Cadastral da cidade e, se ne-cessrio, a informao pode ser complementadacom vistorias ou levantamentos de campo.

Algumas agncias governamentais possuemaerofotogrametria de parte do territrio esta-dual, ou seja, de algumas cidades e regies.Por meio do estabelecimento de convnio5

It is crucial to ensure that the proposals recom-

mended by this plan of action have been discussed

and agreed with society as a whole and especial-

ly with the various popular environmental and

housing movements. It follows that a first task

will be to identify such movements and thereafter

to define a series of strategies and channels for

communicating with them.

2. Assessment

Familiarity with the real situation on the ground is

fundamental. The preparation of the Action Plan de-

pends substantially on a good quality first assessment.

The first step is to identify the informal settlements.

2.1 Identiying inormal settlements

Although situations regarding informal settlements

vary significantly, a number of different methods for

identifying and mapping such settlements are cur-

rently available. The municipality must investigate

and choose one method or a combination of the dif-

ferent methods available.

(a) Field Survey-Cadastral Topographical Survey

This involves undertaking a professional cadastral

topographical survey in the field. The information

acquired at field level should make it possible to iden-

tify the precise location of a given settlement for en-

tering on the Cadastral Plan of the city. It should be

possible to postpone the cadastral planaltimetric sur-

vey of the settlements until the project design stage.

(b) AerophotogrammmetryIt is possible to contract or to purchase aerial photos

of the municipality and of its occupied urban area.

The resulting photographs can be presented in such

a way that is possible to detect the extent of a given

area of human occupation. The photographic im-

age or images thus produced should be incorporated

into the Cadastral Plan of the city. If necessary this

information can be supplemented with field surveys

and in loco inspections.

Certain government agencies possess aerial photo-

graphs of part of the state territories including cit-


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ou contratao, possvel ter acesso s fotos etambm viabilizar sua restituio.

Cabe ressaltar que preciso observar se a in-formao disponvel atualizada e, caso noseja, se possvel complementar e atualizar ainformao por outros meios, como vistorias,levantamentos de campo e imagens de satlite.

c) Imagem de satlite

Hoje podemos ter acesso a imagens areas pro-duzidas por satlites e disponveis na Internet. Ositio Google Earth pode ser uma ferramenta paralocalizar, espacialmente, os assentamentos na ci-dade. Essas imagens podem ser combinadas comas informaes existentes na Planta Cadastral da

cidade e, se necessrio, pode-se complementar ainformao com levantamentos de campo.

Qualquer que seja mtodo utilizado, as infor-maes devem ser registradas na Planta Ca-dastral da cidade. importante que a cidadeinformal exista nas plantas da cidade.

Cabe ressaltar que pode-se adotar uma combi-nao de mtodos.

preciso verificar quais so as informaes

disponveis em cada municpio para constru-o dessa base de dados.

2.2 Quanticao dos domiclios

a) Levantamento scio-econmico cadastral

O nmero de domiclios pode ser extradodo levantamento scio-econmico cadastral.

Este levantamento importante instrumentode planejamento dos processos de interven-o, definio de diretrizes e do pblico-alvode programas scio-educativos. produzidoou atualizado na etapa de planejamento da in-terveno de um determinado assentamento epode tornar-se instrumento de controle do cres-cimento ou adensamento do assentamento.

A maioria dos municpios possui este levan-tamento apenas para parte dos assentamentosque esto em processo de urbanizao ou fo-ram urbanizados, e comum que o levanta-mento de cada assentamento ou grupo de as-

5 Agreement signed between public bodies or between public

bodies and private bodies for carrying out activities to benefit

the common interests of participants

5 Acordos firmados entre rgos pblicos ou entre r-gos pblicos e privados para realizao de atividades deinteresse comum dos participantes

ies and metropolitan regions. It should therefore be

possible, on the basis of an agreement5or some other

contractual arrangement with the specific agency or

agencies, to secure access to such photographs and to

use them for the same purposes as described above.

It is important to emphasise that all the information

available in this format should be up-to-date. If the

photographs have not been taken recently, the possi-

bility of updating the information contained therein

by using other methods such as field surveys, on-site

inspections and remote sensing such as satellite im-

aging should be investigated.

(c) Satellite imaging

Aerial images produced by satellites are available for

viewing on the Internet. For example, Google Earth

can serve as a useful tool for locating settlements in most

cities. These images can be combined with information

already existing in the city Cadastral Plan and wher-

ever necessary can be supplemented by field surveys.

Whatever the method used, the resulting informa-

tion must be recorded on the Cadastral Plan. It is

essential that the so-called informal city should be

shown on all city plans.

A combination of different methods for identifying the

location and size of informal settlements can be used.

It is important to verify at the outset what informa-

tion is already available in each municipality for

constructing this kind of database.

2.2 Quantiying households

(a) Socio-economic cadastral survey

Information about the number of households can beextracted from the socio-economic cadastral survey.

This type of survey is a basic tool for planning in-

terventions, defining guidelines and pinpointing the

target public likely to benefit from socio-educational

programmes. The survey can be produced or brought

up to date at the planning stage of an intervention

in a particular settlement. It can also be used as a

device for measuring the expansion or densification

of a settlement.


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sentamentos tenha sido realizado em diferenteperodo. Nem todos os municpios possuemum sistema permanente de atualizao de da-dos, portanto os levantamentos podem estardesatualizados. A informao pode ser atuali-

zada atravs de contagem dos domiclios ou docruzamento com o cadastro de concessionriasde gua, energia eltrica ou, ainda, tomandopor referncia imagem de satlite.

b) Contagem de domiclios

A contagem de domiclios pode ser feita comou sem o apoio de uma base cadastral de cons-trues e vias. Quando realizada como par-te integrante do levantamento cadastral ou dolevantamento planialtimtrico cadastral tam-bm instrumento para elaborao do diagns-tico que ser discutido no prximo mdulo.

c) Estimativa tendo por reerncia aerooto-grametria ou imagem de satlite

possvel estimar o nmero de domicliosexistentes num assentamento cruzando infor-maes sobre a rea e densidade de ocupao.A rea ocupada pode ser calculada atravs daaerofotogrametria ou de imagem de satlite e a

densidade pode ser estimada tomando por re-ferncia, por exemplo, outro assentamento queapresente as mesmas caractersticas e densida-des e que possua levantamento cadastral oucontagem realizados recentemente.

Novamente, uma combinao de mtodospode ser utilizada desde que se registre a fon-te ou mtodo utilizado em cada caso. Caberessaltar que estamos tratando de estimativaspara produo de diagnstico municipal e que

estas informaes devero ser confirmadaspara cada assentamento na etapa de elabora-o do projeto.

2.3 Tipologias de assentamentosprecrios

O conceito de assentamentos precrios adota-do pelo Ministrio das Cidades engloba diver-sas tipologias habitacionais. Lembramos que

Most municipalities possess surveys restricted to a

group of settlements that are undergoing urbanisa-

tion or which have already been urbanised. The sur-

veys of each settlement or group of settlements have

frequently been carried out over different periods of

time. Not all municipalities have a permanent systemfor updating their data, as a result of which surveys

can often be found to be out of date. Information

can be brought up-to-date by counting the number

of households or by cross-referencing with the records

kept by the various utility companies (water, electric-

ity, etc), or even by satellite imaging.

(b) Counting households

This can be done with or without reference to a ca-

dastre of buildings, roads and streets. When the

count is carried out as an integral part of a cadastral

survey or a planialtimetric cadastral survey it can be

of substantial value when preparing the assessment

to be discussed in the next module.

(c) Estimate based on satellite imaging oraerophotogrammmetry

It is possible to estimate the number of households

currently in a settlement by cross-referencing infor-

mation about population density in a given area.

The occupied area can be calculated by using sat-ellite imaging or aerophotogrammmetry, while its

density can be estimated by reference, for example, to

a separate settlement displaying the same character-

istics and densities and possessing a recent cadastral

survey or household count.

Again, a combination of methods can be used, pro-

viding the source or method employed in each case

is clearly identified and recorded. It is important to

remember that we are dealing with estimates for pre-

paring a municipal assessment and that the relevantinformation must be confirmed for each settlement at

each stage of project preparation.

2.3 Types o inormal settlements

The definition of informal settlements adopted by

the Ministry of Cities covers a number of different

types of housing, for example tenements6, slums,

irregular settlements of low income residents and

6 Precarious rented housing, comprising one or more buildings

constructed in an urban plot, generally overcrowded, disadvan-taged by common access to and use of non-built spaces, sanitary

installations (bathroom, kitchens and service areas) and electri-

cal installations

6 Habitao coletiva precria de aluguel, constituda por

uma ou mais edificaes construdas em lote urbano,com ocupao excessiva e acesso e uso comum dos espa-os no edificados, de instalaes sanitrias (banheiros,cozinhas e tanques) e de instalaes eltricas


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a categoria abrangente e engloba inmerastipologias, destacando-se: cortios6, favelas,loteamentos irregulares de moradores de bai-xa renda e conjuntos habitacionais produzidospelo poder pblico que se acham degradados.

De acordo com as linhas programticas das interven-es em assentamentos precrios, estabelecidas pelaPoltica Nacional de Habitao (PNH) essas tipolo-gias podem ser agrupadas em 2 sub-conjuntos:

cortios em reas centrais e consolidadas

da cidade, com problemas de permann-cia e expulso e com demandas de me-lhoria das condies de habitabilidade eproviso de novas moradias sociais nes-sas mesmas localizaes;

assentamentos precrios que demandam

aes de urbanizao abrangendo o uni-verso formado por favelas, loteamentosirregulares, conjuntos habitacionais de-gradados, e assemelhados, caracteriza-dos em maior ou menor grau pela au-sncia ou precariedade de infra-estruturaurbana, irregularidade fundiria, inade-quao das unidades habitacionais e dosterrenos onde esto implantadas.

2.4 Caracterizao dos assentamen-tos precrios

A caracterizao do conjunto de assentamentosprecrios ao nvel da cidade objetiva identificartipos de assentamento, necessidades habitacio-nais e intervenes necessrias. Recomenda-seque, alm da tipologia discutida anteriormente,a caracterizao dos assentamentos contenha,no mnimo, informaes acerca das caracte-

rsticas fsicas, da legalidade fundiria e dasintervenes fsicas realizadas.

2.4.1 Caractersticas sicas

Podemos classificar os assentamentos em conso-lidados, consolidveis e no consolidveis.

Consolidados: so assentamentos que j es-to integrados urbanisticamente e dotados deinfra-estrutura bsica. No so necessrias in-tervenes fsicas que alterem sua morfologia

(reparcelamento de lotes, redefinio de siste-ma virio), assim como a execuo de obrasde infra-estrutura bsica. Os assentamentospodem, porm, no estar regularizados e sua

rundown housing complexes originally built by the

public authorities.

According to the programmatic lines covering inter-

ventions in informal settlements established by the

National Housing Policy (NHP), settlements are

mainly of two types:

tenements (cortios) in consolidated down

town areas where residents are often subject to

insecure tenure conditions including the risk

of eviction. demands by residents of these

places for better housing conditions are com-

monplace, including calls for new social hous-

ing to be built in the same locations; and

informal settlements requiring upgrading.

these consist of slums, irregular or illegal set-

tlements, dilapidated housing complexes and

so on, often characterised to a greater or lesser

extent by the absence of proper urban infra-

structure, tenure irregularities, unsuitable

land, etc.

2.4 Features o inormal settlements

In order to identify different types of settlements,housing needs and the extent of upgrading inter-

ventions required, we need to identify the salient

features of informal settlements in our cities. In ad-

dition to identifying the various types of settlements

as described above, we recommend that information

about the physical characteristics, legal tenure situ-

ation and physical interventions that have already

been undertaken also needs to be assembled.

2.4.1 Physical characteristics

Settlements can be classified as consolidated, feasible

and non-feasible in terms of becoming a consolidat-

ed settlement.

Consolidatedsettlements are those that are inte-

grated into the urban fabric and enjoy basic infra-

structure. Physical interventions are generally not

required to alter their morphology (re-parcelling

plots, re-routing streets, etc), and basic infrastructur-

al works are not needed. It is possible however that

some of these settlements may not be regularised and

their populations may present specific demands for


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populao pode apresentar demandas espec-ficas por programas de ps-ocupao, sociais eequipamentos e servios pblicos.

Consolidveis: o ncleo consolidvel aquele que apresenta condies favorveis derecuperao urbanstica e ambiental e de reor-denamento urbano (abertura ou readequaode sistema virio, implantao de infra-estru-tura bsica, regularizao urbanstica do par-celamento do solo), com ou sem necessidadede remoo de parte das famlias moradoras.A realocao (remoo) pode ser necessriapara eliminar situaes de risco, promover odesadensamento, para executar intervenesurbanas ou, ainda, em funo de restries le-

gais ocupao.No consolidveis: aquele que no apresentacondies de recuperao urbanstica e am-biental e de reordenamento urbano. Trata-sede ncleos comprometidos por situaes derisco e insalubridade no solucionveis, como,por exemplo, os que se localizam sob aterrosanitrio, oleoduto, virio estrutural da cidade,reas de risco, de preservao ambiental e nonaedificandi. Os ncleos no consolidveis

so objeto de interveno do tipo remoo ereassentamento em novas reas.

A tipologia de assentamentos precrios englobasituaes distintas quanto precariedade e ir-regularidade, verificadas em diferentes regiesdo Brasil. A caracterizao deve ser feita pelomunicpio considerando suas especificidadeslocais, mas tambm a necessidade de articu-lao de um sistema nacional de informao,planejamento e financiamento das interven-

es. Deve, portanto, dialogar com refernciasnacionais, ou seja, permitir a integralizaodos resultados obtidos.

O Ministrio das Cidades recomenda que a carac-terizao fsica dos assentamentos seja elaboradaconsiderando as condies do terreno, moradia,traado urbano e consolidao do assentamento.

a) Condies do terreno

O terreno do assentamento pode ser caracteriza-

do como adequado, inadequado ou imprprio.

terreno adequado aquele onde a ocupa-o pode ser consolidada;

`post-occupation` social programmes, public ame-

nities and improved basic servicesdespite not be-

ing regularised.

Feasible are those that present good prospects for

urban and environmental rehabilitation and urban

redistribution involving, for example, improvingstreet layout, installing basic infrastructure, intro-

ducing regularisation for the plots, with or with-

out the need to relocate all or some of the resident

families. Relocation might of course be necessary

to counter risk situations and as a measure of de-

densification as a preliminary step to undertaking

major public works. The need for relocation might

also be in response to legal rulings.

Non-feasiblesettlements is the term used to refer to

those settlements with no chance of being rehabilitat-

ed from an urban, environmental or land reordering/

redistribution viewpoint. These are normally areas

with insoluble problems related to insalubrious and

risk conditions - located on sanitary landfills, over oil

or gas pipelines, huddled under busy viaducts, occupy-

ing environmental preservation and non-aedificandi

(non-building) areas, as well as places in imminent

danger of landslides etc. The non-feasible nuclei of

this type require interventions that involve removing

and resettling families to totally different areas.

Informal settlements in different parts of Brazil display

a variety of precarious and irregular circumstances.

Municipalities need to consider all the local specificities

of such places. They also need to stay abreast of the

national system which provides information, planning

and financial advice regarding interventions, and to en-

sure that any results obtained at municipal level can be

funnelled to interested parties country-wide.

The Ministry of Cities recommends that the physical

description of settlements to take into account a va-

riety of components, including: the assessed suitabil-

ity of the land for housing purposes, current housing

conditions, the urban layout and the prevailing level

of `consolidation`.

(a) Land suitability

The land occupied by a settlement can be described

as adequate, inadequate or totally unsuitable.

adequate land is that which can support a

consolidated human settlement.


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terreno inadequado aquele onde a ocu-pao pode ou no ser consolidada e atomada de deciso depende do resultadode estudo especfico do assentamento.esse estudo envolve, entre outras, vari-

veis como disponibilidade de terra, an-lise de viabilidade econmica, financeirae social, custo das obras de contenogeotcnica, saneamento ou infraestrutu-ra, bem como outros dispositivos legaispertinentes. trata-se, por exemplo, de fai-xas marginais a crregos e rios, reas demangue (orla martima), rea suscetvela risco geotcnico e rea de proteo demananciais;

terreno imprprio aquele onde a ocu-pao no pode ser consolidada. carac-teriza-se por apresentar risco no pas-svel de ser superado pela intervenourbanstica. trata-se, por exemplo, deocupaes sobre gasodutos e oleodutos,faixas de proteo de ferrovias e rodo-vias, sobre aterros sanitrios, lixes eoutras reas contaminadas no passveisde recuperao e sob viadutos, pontes eredes de alta tenso.

Podem existir, por exemplo, ocupaes locali-zadas em terrenos adequados ou inadequadosque poderiam ser consolidadas, mas a execu-o de obras de sistema virio regional impesua remoo.

b) Condio de moradia

O assentamento pode apresentar moradias im-provisadas e/ou passveis de adequao (recu-perveis). Moradias improvisadas so aquelas

produzidas com material inadequado, comomadeira velha, zinco, lata, papelo e outros.

Moradias passveis de adequao so as que:

possuem banheiro, ou sem banheiro e dis-pondo de terreno para construo deste;

so produzidas com material permanente

(paredes de tijolo ou bloco, cobertura detelhas ou laje e outros materiais conside-rados adequados no contexto regional)

e ainda com possibilidade de expanso

para atender a eventuais situaes decongestionamento domiciliar.

inadequate land referstolandwhereoccupa-

tion might be consolidated or not, and where

the ultimate decisions depend on specific studies

done on the particular settlement. these studies

involve inter alia an examination of variables

such as the availability of land, the costs ofinfrastructure, sanitation and geotechnical con-

tainment works and pertinent legal factors. an

economic, financial and social feasibility anal-

ysis is also required. inadequate land is often

found on river banks, in swampy areas near the

coast, in areas susceptible to geotechnical risks

and in headwater protection areas.

unsuitable landis thatwherehumanoccupa-

tion cannot be consolidated. these areas present

risks that cannot be dealt with by urban inter-

ventions and include settlements over gas and

oil pipelines, near to highways and railway

lines, under viaducts, bridges and high ten-

sion power cables, on top of sanitary landfills,

garbage dumps and other contaminated places

that cannot be easily rehabilitated.

The consolidation of some settlements located on ad-

equate or inadequate areas occasionally cannot proceed

on account of the execution of regional road works.

This makes it vital for such settlements to be removed.

(b) Housing conditions

A settlement may contain improvised dwellings and/

or homes that can be renewed or recovered. Improvised

dwellings are those built of inappropriate materials

such as scavenged timber, zinc, tin, cardboard etc.

Dwellings that can be improved are those that:

possessabathroom(orincaseswherenobath-

room exists, have access to sufficient land forconstructing toilet facilities);

arebuiltof durablematerials (brickorcon-

crete block walls, tiled or cement roofs, or other

materials in keeping with the local context).

dwellingsthatcouldbeextendedtoprovideex-

tra space for growing families.

(c) Condition o the urban layout and density

The majority of homes may or may not have accessvia a regular urban, street layout. Given its densityand layout a settlement could be characterised as be-

ing agglomerated or possessing a regular layout.


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c) Condio do traado urbano (morologia)e densidade

A maioria das moradias pode ou no ter acessopor uma via com traado regular. Em fun-o de sua densidade e traado, o assentamen-to pode ser caracterizado como aglomeradoou traado regular.

So considerados aglomerados os assenta-mentos que apresentam 50% ou mais de suasmoradias com acesso por viela estreita de tra-ado irregular, sem condio de trfego deveculo motorizado de porte mdio. So con-siderados traado regular os aglomeradosque apresentam 50% ou mais de suas moradiascom acesso por via de circulao de traadoregular, com condio de trfego para veculomotorizado de porte mdio.

d) Inra-estrutura urbana

Trata-se do percentual de moradias ligadas re-gularmente s redes pblicas de gua, esgotoe eletricidade, atendidas por servios pblicosde coleta de lixo e com existncia e funciona-mento adequado de drenagem pluvial e ilumi-nao pblica.

2.4.2 Legalidade undiria

importante lembrar que devem ser incorpora-das ao diagnstico as informaes disponveisa respeito da propriedade da terra, situao deregularizao de domnio das reas publicas eparticulares, legislao incidente, regularizaoda posse e estgio de regularizao na Prefeiturae Cartrio. Entende-se como estgio de regula-rizao se o assentamento (parcelamento) est:

regularizado no cartrio e na prefeitura (plan-ta do parcelamento ou condomnio aprova-da pelo setor municipal competente);

regularizado na prefeitura;

em processo de regularizao na prefei-tura;

em processo de regularizao no iniciado.

2.4.3 Intervenes sicas realizadas

Sabe-se que os governos municipais desenvol-veram intervenes nos assentamentos de for-ma gradual, buscando melhorar as condies

Settlements considered to be agglomerated are those

where over 50 percent of dwellings have access secured via

a narrow, irregularly configured alleyway unsuitable for

an average-size motor vehicle. The settlements considered

possessing a regular street layout are those where over 50

percent of dwellings can be accessed via a normal road or

street where average-size vehicles can transit.

(d) Urban inrastructure

is refers to the percentage of homes officially con-

nected to the public water, sewage and electricity

networks and which benefit from public services such

as garbage collection, adequate storm water drainage

and public lighting.

2.4.2 Legal tenure status

It is important to remember that the assessment

needs to include information on land ownership, the

regularised (or non-regularised) status of buildings

on public and private areas, contingent legislation,

proof of tenure and records of the status of regulari-

sation proceedings being dealt with in the munici-

pality and Public Notarys Of fice (cartrio). Settle-

ments or land parcels at the regularisation stage areconsidered to be those which are:

regularisedinthemunicipality(whichmeans

the settlements has parcelling plans approved

by the competent division of the municipal

authority) and registered in the real estate

Public Notarys Office;

regularisedinthemunicipality;

undergoing the process of regularisation inthe municipality; and

wheretheregularisationprocessispending.

2.4.3 Previous physical interventions

Municipal governments have in the past often under-

taken interventions in the settlements in a gradual

manner in order to try and improve sanitation con-

ditions and eliminate risk situations. These inter-

ventions, carried out mainly over the past 20 years,

have consisted of either total or partial upgrading of

settlements. Upgrading interventions by municipal


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de saneamento e eliminar situaes de risco.Essas intervenes, realizadas principalmentenas ltimas duas dcadas, promoveram tantoa urbanizao total como parcial dos assen-tamentos. Solucionaram, tambm, problemas

pontuais relacionados eliminao de situ-aes de risco e melhoria das condies deacessibilidade. importante que o Plano deAo registre que tipo de melhoria ou inter-veno os assentamentos j receberam. Essainformao importante para definir o graude consolidao do assentamento e estimar ovolume de recursos necessrios para promoversua integrao.

Com relao s intervenes realizadas, os as-

sentamentos podem ser classificados como:Urbanizados: assentamentos onde j foramtotalmente concludos os servios de urbaniza-o elencados a seguir: reparcelamento do solo(diviso em lotes, definio do sistema virioe de reas livres e institucionais), infra-estru-tura bsica (rede oficial de coleta de esgotos;rede de abastecimento de gua com ligaesdomiciliares; sistema de drenagem das guaspluviais; abertura, consolidao e pavimenta-

o do sistema virio; rede de energia eltricacom ligaes domiciliares), obras de geotecnianecessrias para a consolidao geotcnica eeliminao de eventuais situaes de risco.

Urbanizados parcialmente: assentamentos ondetenham sido executados alguns servios, comoredes de gua e esgoto; que apresentem um setorclaramente definido espacialmente ou onde j te-nham sido totalmente concludos os servios deurbanizao conforme descritos no item anterior

e onde, no restante do assentamento, no exis-tam obras de urbanizao em andamento.

Em processo de urbanizao: assentamentosonde estejam sendo realizadas obras de urba-nizao, independente de sua fase, mesmo quej exista trecho claramente definido onde asobras estejam concludas.

Em processo de reassentamento: assentamen-tos no consolidveis, cujos domiclios j este-jam sendo reassentados para outras reas, ou

onde estejam em andamento as obras nas reasde destino dos moradores.

Com intervenes pontuais (melhorias):

governments have also succeeded in solving some of

the problems related to risk situations and have im-

proved access conditions. It is important for the Action

Plan to show clearly what kinds of betterments or in-

terventions have occurred in order to define the level of

consolidation of a particular settlement and to make

it easier to estimate the scale of funding needed to inte-

grate the settlement into the city fabric proper.

In terms of interventions, settlements can be classi-

fied a follows:

Urbanisedsettlements, where urban services have been

100 percent installed: land divided into plots, with clear

and defined street lay out, availability of free and insti-

tutional areas, basic infrastructure installed (authorised

sewage collection network, water supply and electricity

connected to households, storm water drainage system in-

stalled, streets paved, works undertaken to ensure subsoil

stability and eliminate possible future risk situations).

Partially urbanised settlements are those where

some services have been undertaken such as the in-

stallation of water and sewage networks. This cat-

egory of settlement normally contains two clearly

defined areasone where the urbanisation services

have been concluded (as described above) and anoth-

er area where urban improvements are pending.

Settlements in the process of urbanisation are

those where the upgrading works are being carried

out, even in includes areas where upgrading works

have already been concluded.

Settlements in the process of resettlementare those

non-feasible for consolidation where families have al-

ready been removed to other areas, or where familiesare waiting to be relocated to areas where appropriate

upgrading works are in progress.

Settlements undergoing ad hoc betterments con-

sist of those settlements (feasible for consolidation or

not) where one or more of the following public works

have been undertaken: installation of clean water,

sewage or drainage networks, containment works or

improvements made to the street layout (including

improvements to alleyways, external stairways etc).

These types of improvement works may or may not

be addressed at a proper global intervention plan,

focused on a complete urbanisation project.


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assentamentos, consolidveis ou no, ondetenham sido realizadas uma ou mais das se-guintes obras: redes de gua, esgotos, obras dedrenagem, de conteno ou intervenes nosistema virio (escadarias, vielas). Essas obraspodem ou no estar inseridas num plano glo-bal de interveno, determinado por um proje-to completo de urbanizao.

Sem interveno: assentamentos onde notenha havido nenhuma interveno quanto realizao de obras de infra-estrutura ou ou-tras que sejam especficas do assentamento emquesto (excetuando-se rede de abastecimentode gua ou reparos em redes de esgoto no ofi-ciais), ainda que os domiclios possam servir-se da infra-estrutura circundante.

2.5 Tipos de interveno

Considerando as caractersticas fsicas dos as-sentamentos, o Ministrio das Cidades aponta4 tipos de interveno: urbanizao (simples),urbanizao (complexa), reassentamento ( ourealocao) e remanejamento (ou relocao).

Urbanizao: A urbanizao viabiliza a con-solidao do assentamento com a manutenoda populao (ou de grande parcela desta) no

local. Compreende a abertura e consolidaode sistema virio, implantao de infra-estru-tura completa, reparcelamento do solo (quan-do couber), execuo de obras de consolidaogeotcnica, construo (quando necessria) deequipamentos sociais, promoo de melhoriashabitacionais e da regularizao fundiria.

Simples: Compreende a interveno emassentamentos que possuem baixa oumdia densidade, traado regular e noapresentam necessidade de realizao deobras complexas de infra-estrutura urba-na, consolidao geotcnica e drenagem.

Complexa: compreende a intervenoem assentamentos com alto grau de den-sidade, em geral, tipo aglomerado, comalto ndice de remoes, que no apre-senta traado regular e/ou com a neces-sidade de realizao de complexas obrasgeotcnicas ou drenagem urbana.

Remanejamento: Trata-se da manuteno dapopulao (ou de grande parcela desta) no lo-cal aps a substituio das moradias e tecidourbano. o caso, por exemplo, de reas que

Settlements that have not been intervenedare those

where no infrastructural or related works have been

undertaken. An unofficial water supply or informal

drainage/sewage system may exist. In these areas

some homes sometimes have access to limited infra-

structural services supplied from neighbouring areas.

2.5 Types o intervention

The Ministry of Cities categorises four types of up-

grading intervention, depending on the physical char-

acteristics of settlements: simple urbanisation, com-

plex urbanisation and those requiring or undergoing

family resettlement, relocation or readjustment.

Urbanisation of a settlement enables consolidating

it by keeping most of the resident population in situ.The overall process should ideally consist of intro-

ducing and/or consolidating a street layout, imple-

menting a complete range of infrastructural works,

re-dividing available land wherever necessary (re-

parcelling), undertaking geotechnical containment

and consolidation work in risk areas, constructing

social equipments where necessary, promoting indi-

vidual housing improvements and working towards

property tenure regularisation.

Simple intervention is understood as inter-

vention in settlements of low or medium pop-

ulation density, laid out in a regular pattern

and which do not require complex urban in-

frastructural, geotechnical consolidation and

drainage works to be undertaken.

Complexintervention comprises interventions

in densely-populated settlements, with high

relocations needs, turnover, which possess noregular street pattern and require complex

drainage and geotechnical works.

Relocation in situ involves ultimately retaining the

population (or most of it) in the area after modifi-

cations have been made to the urban environment

Areas where landfill or similar earth reinforcement

works are required fall into this category. In such cas-

es the solution is to relocate families on a temporary

basis and undertake basic infrastructure works and

the building of new homes on

sintese acao urbanizacao. mdasc. 2010. english with cities alliance

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